ESP INVESTMENT ADVISORS LLC
Adviser information for ESP INVESTMENT ADVISORS LLC last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 19 |
|---|---|
| Investment Advisory/Research | 12 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3 | $1.9B |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $1.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 3 | $1.9B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-117556 |
|---|---|
| SEC ERA File Number | 801-117556 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 298553 |
| Legal Entity Identifier | None |
Principal Office
5956 SHERRY LANESUITE 1400
DALLAS
TX
United States
Monday - Friday, 8:00AM - 6:00PM
Tel: 214-987-6100, Fax: 214-987-6110
Chief Compliance Officer
E. ASHLEY DELUCA
GENERAL COUNSEL
5956 SHERRY LANE
SUITE 1400
DALLAS
TX
United States
Tel:
214-987-6108
Fax:
214-987-6110
A************@*****************M
(Full email address available in API data)
Regulatory Contact
JAMES W. SPANN
DEPUTY CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR
5956 SHERRY LANE
SUITE 1400
DALLAS
TX
United States
Tel:
214-987-6102
Fax:
214-987-6110
J********@*****************M
(Full email address available in API data)
Industry Affiliates
| ENERGY SPECTRUM CAPITAL VI LP | Sponsor, GP, manager of pooled investment vehicles |
| ENERGY SPECTRUM CAPITAL VII LP | Sponsor, GP, manager of pooled investment vehicles |
| ENERGY SPECTRUM CAPITAL VIII LP | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ENERGY SPECTRUM PARTNERS VI LP | Venture Capital Fund | $34.5M | $5.0M | 58 |
| ENERGY SPECTRUM PARTNERS VII LP | Venture Capital Fund | $698.1M | $5.0M | 94 |
| ENERGY SPECTRUM PARTNERS VIII LP | Venture Capital Fund | $1,154.0M | $5.0M | 81 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ENERGY SPECTRUM SECURITIES CORPORATION | Domestic Entity | – | MEMBER | 07/2018 | > 75% |
| ENERGY SPECTRUM CAPITAL VIII LP | Domestic Entity | – | MEMBER | 07/2018 | > 75% |
| WHITENER, THOMAS, OLIVER | Individual | – | PRESIDENT | 07/2018 | < 5% |
| SPANN, JAMES, WILLIAM | Individual | – | MANAGING DIRECTOR AND DEPUTY COMPLIANCE OFFICER | 01/2023 | < 5% |
| DAVIS, BENJAMIN, HOYLE | Individual | – | SENIOR VICE PRESIDENT | 07/2018 | < 5% |
| BENSON, JAMES, PATRICK | Individual | – | MANAGING DIRECTOR | 07/2018 | < 5% |
| AUGUSTINI, PETER, W. | Individual | – | SENIOR VICE PRESIDENT | 07/2018 | < 5% |
| HONEYBONE, MARK, S. | Individual | – | SENIOR VICE PRESIDENT | 07/2018 | < 5% |
| Fischer, Alison, Kara | Individual | – | CHIEF FINANCIAL OFFICER | 07/2018 | < 5% |
| PHILLIPS, CHANDLER, ANDREW | Individual | – | VICE PRESIDENT | 07/2018 | < 5% |
| ENERGY SPECTRUM VIII LLC | Domestic Entity | ENERGY SPECTRUM CAPITAL VIII LP | GENERAL PARTNER | 11/2018 | |
| ENERGY SPECTRUM SECURITIES CORPORATION | Domestic Entity | ENERGY SPECTRUM VIII LLC | MEMBER | 07/2018 | > 75% |
| WHITENER, THOMAS, OLIVER | Individual | ENERGY SPECTRUM SECURITIES CORPORATION | SHAREHOLDER | 10/1997 | 25-50% |
| SPANN, JAMES, WILLIAM | Individual | ENERGY SPECTRUM SECURITIES CORPORATION | SHAREHOLDER | 10/1997 | 25-50% |
| BENSON, JAMES, PATRICK | Individual | ENERGY SPECTRUM SECURITIES CORPORATION | SHAREHOLDER | 10/1997 | 25-50% |
| MAYON, MICHAEL, CHARLES | Individual | – | VICE PRESIDENT | 07/2018 | < 5% |
| MITCHELL, MICHAEL, PATRICK | Individual | – | VICE PRESIDENT | 01/2019 | < 5% |
| DELUCA, ELIZABETH, ASHLEY | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2023 | < 5% |